Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Video: The Freedom to Be a Fiduciary
By John SullivanMatt Lynch, president and CEO of Capital Analysts, explains the "freedom to be a fiduciary," and shares how he's helping his advisor partners take on...
November 05, 2010
Barclays Wealth Opens New Trust CompanyWealth manager and advisor Barclays Wealth announced Friday that it had opened Barclays Wealth Trustees (U.S.), NA, a new national U.S. trust company headquartered in Delaware.
November 04, 2010
Ameriprise Drawing Independent, Veteran AdvisorsAn advisor who left to go independent with LPL Financial returns to the employee channel
November 04, 2010
SEC Votes to Adopt 'Naked Access' RuleThe SEC voted Wednesday to adopt a rule that required broker-dealers to establish "risk controls" before providing their customers with market access.
November 04, 2010
LPL Assumes IPO Price of $28.50 Per ShareLPL Financial, the largest independent broker-dealer, filed an amended Form S-1 with the SEC on Wednesday that assumed an IPO price of $28.50 per share for 17,176,195 shares of common stock, though it did not set a date for its much-anticipated IPO.
November 02, 2010
Successful Recruiting Tactics To Grow Your BranchDeciding to grow your business by adding advisors to your branch is a decision filled with multiple variables, not to be taken lightly.
November 02, 2010
Successful Recruiting Tactics to Grow Your BranchDeciding to grow your business by adding advisors to your branch is a decision filled with multiple variables, not to be taken lightly.
November 02, 2010
Taking Barclay’s HNW Financial Personality TestWhat it's like to complete the Barclay's Wealth assessment and emerge as a nervous Nellie client